Article 12
Performance Management System

Section 1. General

The Department will adhere to all applicable Government-wide rules and regulations and the provisions in this Article in the administration of its Performance Management System. Moreover, the Department shall administer this Article in accordance with DPR 430, effective October 1, 2004, as specified or except as provided herein. Any future changes to this regulation will be handled in accordance with Article 34.

Section 2. Introduction

In accordance with 5 CFR 430.102,

a. Performance management is the systematic process by which an agency involves its employees, as individuals and members of a group, in improving organizational effectiveness in the accomplishment of agency mission and goals.
b. Performance management integrates the processes an agency uses to:

(1) Communicate and clarify organizational goals to employees;
(2) Identify individual and, where applicable, team accountability for accomplishing organizational goals;
(3) Identify and address developmental needs for individuals and, where applicable, teams;
(4) Assess and improve individual, team, and organizational performance;
(5) Use appropriate measures of performance as the basis for recognizing and rewarding accomplishments; and
(6) Use the results of performance appraisal as a basis for appropriate personnel actions.

Section 3. Procedures for Developing Elements and Performance Standards

a. Consistent with Management’s right to assign work, the performance elements should be consistent with the duties and responsibilities contained in an employee's position description.
b. In establishing standards, due consideration will be given to employee input.
c. Employees are entitled to an explanation of the rationale for their elements and standards.

Section 4. Performance Standards

a. A performance standard will, to the maximum extent feasible, permit the accurate evaluation of job performance on the basis of objective criteria related to the job in question for each employee or position under the System.
b. A written performance standard will indicate the performance level which will meet or satisfy the requirements at the “meets” level for an element. There will be one standard per element.
c. After receiving proposed elements and standards from the supervisor, the employee will have the opportunity to meet and discuss these standards with the supervisor, and to provide his or her written comments.
d. When performance standards are developed which have more than one criterion, employees will be advised as to the relative importance of the criteria contained within the standards.
e. Upon request, supervisors will inform employees orally on what is expected in order to exceed a standard.

Section 5. Annual Rating of Record

a. The rating may be completed 30 days prior to the due date but not later than 30 days after the due date.
b. The rating official must confer with the reviewing official and secure the approval of the reviewing official of the tentative rating for the employee before discussing the tentative rating with the employee. The supervisor will discuss the rating of record with the employee to avoid misunderstandings and possible inaccuracies. The rating official will confer with the employee to review accomplishments, problems, and general performance during the appraisal period and will discuss the tentative conclusions regarding the rating with the employee. The discussion will be face-to-face to the extent practicable but may be by telephone.
c. The employee will have an opportunity to present his/her assessment of work accomplishments, as well as to respond in writing to the rating. Employees have up to five workdays in which to review, sign, or prepare comments, as appropriate, on their ratings. Any written comments will be forwarded to the reviewing official(s) along with the tentative rating. After the rating has been reviewed and approved, it will be discussed with the employee by the rating official if any changes have been made in the tentative rating. Such written response is to be considered by the rater or reviewing official, as appropriate, and attached to the performance appraisal and will be maintained in the employee performance file.

Section 6. Feedback

The objectives of the Performance Management System are met through regular feedback. As part of this feedback, a progress review must be held at least once during the appraisal period no later than 120 days before the end of the rating period. At a minimum, during this progress review, employees will be informed orally of their performance by comparison with the elements and standards in their performance plans. Progress reviews may include a discussion on any proposed training (which may be on-the-job training) and development of the employee. The rating official will certify on the performance appraisal form that the progress review was held with the employee.

Section 7. Improving Unacceptable Performance

As provided in 5 CFR 430.207, the supervisor should call to the employee's attention, as early as possible, areas of performance needing improvement, and initiate steps to assist the employee to meet performance standards. However, the supervisor must initiate a Performance Improvement Plan (PIP) at any time once he/she determines that performance in one or more critical elements is unacceptable.

Section 8. Performance Improvement Plan

a. When a supervisor decides to place an employee on a Performance Improvement Plan (PIP), he/she shall first share a draft of the PIP with the employee for the employee’s input. The supervisor shall consider any comments of the employee prior to the initiation of the PIP. The Plan will be discussed between the immediate supervisor and the employee and put into writing. This Plan will be geared toward efforts which must be initiated by both employee and immediate supervisor and which are designed to result in overall job performance at an acceptable level or above. At a minimum, this Plan will include the following:

(1) an explanation of the critical elements and the related performance standards in which the employee's performance fails to meet the standard;
(2) specific goals in terms of time and results expected for levels of progress against each performance standard where performance improvement is needed; also, advice about what the employee must do to bring his or her performance up to an acceptable level, as well as periodic counseling and reassessment by the supervisor during this period; and
(3) training, if appropriate.

b. No performance based action (5 CFR 432) will be proposed unless the employee is given at least a 90-day period of time in which to correct any deficiencies noted and a detailed explanation of the work to be accomplished in the 90-day period to correct performance deficiencies. To this end, the Performance Improvement Plan will be utilized.

Section 9. Special Circumstances

Performance appraisals must take into account:

a. Factors or changes which affect performance and are beyond the control of the employee; and
b. Authorized absences (including Union representation) during the course of working hours.

Section 10. Grievability and Arbitrability of Job Elements and Performance Standards

Performance Standards may only be grieved when they are applied in a rating of record.